Carl Ayers
This is the 3-page questionnaire released in February 2018 by the SEC for its new Share Class Selection Disclosure Initiative. This must be filed with ...
Depending upon what side of the case you sit on, Ken Sandhu is either obsessed with what he sees as an injustice or is a ...
An order appearing in the Feb. 8 Federal Register pushes the SEC’s current exemptive order for most of its security-based swap rules to Feb. 9, ...
A finding of systemic supervisory failures can be awfully costly. Just ask Meyers Associates. In a Jan. 4 decision, the National Adjudicatory Council upheld ...
Bob Dylan once sang “something is happening here but you don't know what it is.” That line comes to mind as CFTC Chairman J. ...
Last month, the SEC’s regional office in Fort Worth, Texas, held a free dial-in call for registrants to share what’s hot on exams. “We ...
It is our privilege to share with you the 2018 examination priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities ...
The newest list of OCIE exam priorities resembles past ones in that many of the topics match what the agency put out last year. But ...
All this story’s missing is the screenwriter. The real-life characters include a failed politician turned skillful fraudster. He heads to prison next month. Add ...